SEBI

Excerpts from SEBI Board Meeting

The SEBI Board met in Mumbai today and took the following decisions: 1. The Amendment to Securities and Exchange Board of India (Collective Investment Schemes) Regulations, 1999 The Securities Laws (Amendment) Ordinance, 2013 provides for regulation of pooling of funds under any scheme or arrangement, involving a corpus amount of one hundred crore rupees or… Read More

Tags: Collective investment schemeFinancial Stability BoardMumbaiNational Housing BankSearch and seizureSEBISecurities & Exchange Board of IndiaShelf registration

Declaration and Undertaking regarding PCC, MCV or equivalent structure by FIIs

CIRCULAR          CIR/IMD/FIIC/21/ 2013 December 19, 2013 To, All Foreign Institutional Investors through their designated Custodians of Securities   Dear Sir/ Madam,   Sub: Declaration and Undertaking regarding PCC, MCV or equivalent structure by FIIs. SEBI vide circular CIR/IMD/FIIC/1/2010 dated April 15, 2010 had mandated all Foreign Institutional Investors/ Sub Accounts to submit Declaration and Undertaking… Read More

Tags: CircleExchange Board of India ActIndiaInstitutional investorSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock exchange

SEBI International Advisory Board discusses Insider Trading, REIT, Cyber Security and other major issues

The third meeting of the International Advisory Board (IAB) of the Securities and Exchange Board of India (SEBI) was held on December 9 & 10, 2013 at Bangalore. Major issues discussed during the meeting are:  i.              Insider Trading: Global best practices and lessons for India IAB deliberated on insider trading prohibition frameworks in various jurisdictions and… Read More

Tags: China Banking Regulatory CommissionIndiaInsider TradingNew York University Stern School of BusinessReal estate investment trustSEBISecurities & Exchange Board of IndiaSouth Africa

Exchange Traded Cash Settled Interest Rate Futures (IRF) on 10-Year Government of India Security

CIRCULAR CIR/MRD/DRMNP/35/2013                                           December 05, 2013 To Recognized Stock Exchanges Recognized Clearing Corporations Dear Sir/Madam, Sub: Exchange Traded Cash Settled Interest Rate Futures (IRF) on 10-Year Government of India Security 1. SEBI vide circular No.… Read More

Tags: AnnexationGovernment of IndiaIndiaRisk managementSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock exchange

SEBI Simplification of Demat Account opening process

CIRCULAR CIR/MIRSD/12/2013                                                                        December 04, 2013 The Managing Directors CDSL and NSDL Sub: Simplification of demat account opening process 1.   SEBI has taken a number of steps in the recent past to simplify the Account opening and KYC process in the securities markets. In continuation of the efforts in the same direction, it has now been… Read More

Tags: Beneficial OwnerCentral Depository Services LimitedDepositoriesDepository participantSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992

Illustrative format of Statement of Assets & Liabilities in SEBI (ICDR) Regulations, 2009

CIRCULAR CIR/CFD/DIL/15/2013 December 3, 2013 To All Registered Merchant Bankers Dear Sir/Madam, Sub: Illustrative format of Statement of Assets & Liabilities in SEBI (ICDR) Regulations, 2009 1. Regulation - (2)(IX)(B)(9)(f) of Part-A of Schedule VIII of SEBI (ICDR) Regulations, 2009 provides for the illustrative format of Statement of Assets and Liabilities in offer document which… Read More

Tags: AnnexationCompanies ActICDRSchedule VI of Companies ActSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992The Companies Act 1956

Circular on Infrastructure Debt Fund (IDF) Foreign Institutional Investors (FIIs) which are long term investors

CIRCULAR CIR / IMD / DF / 20 / 2013 November 29, 2013 All Mutual Funds/Asset Management Companies Trustee Companies/Boards of Trustees of mutual funds Sir / Madam, Sub: Circular on Infrastructure Debt Fund (IDF) Foreign Institutional Investors (FIIs) which are long term investors 1. SEBI, vide Circular CIR / IMD / DF / 7… Read More

Tags: Central bankExchange Board of India ActIndiaInstitutional investorMutual fundSEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992

SEBI Circular on extension of timeline for alignment of employee benefit schemes with the SEBI (ESOS and ESPS) Guidelines, 1999

CIR/CFD/POLICYCELL/14/2013 November 29, 2013 To All Stock Exchanges All Registered Merchant Bankers Dear Sir/Madam, Sub: SEBI Circulars No. CIR/CFD/DIL/3/2013 dated January 17, 2013 and - CIR/CFD/DIL/7/2013 dated May 13, 2013 - Extension of time line for alignment 1. SEBI vide circular No. CIR/CFD/DIL/3/2013 dated January 17, 2013, inter alia, made certain amendments to the Equity… Read More

Tags: Amit TandonEmployee benefitExchange Board of India ActSEBISecondary marketSecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Stock exchange

SEBI releases Paper seeking public comments on proposals for allowing certain class of companies to file shelf prospectus for public issuance of non-convertible debt securities

Proposals for allowing certain class of companies to file shelf prospectus for public issuance of non-convertible debt securities - Paper seeking public comments Every issuer is required to file a Prospectus with Registrar of Companies before making a public issue. To enable frequent issuers to raise money, without undergoing the procedure for filing Prospectus for every issuance, the… Read More

Tags: Companies ActFiscal yearRegistrar of CompaniesSEBISecurities & Exchange Board of IndiaSecurity (finance)Shelf registrationThe Companies Act 1956

Institutional Trading Platform…A Foot Forward….

SEBI (LISTING OF SPECIFIED SECURITIES ON INSTITUTIONAL TRADING PLATFORM) REGULATIONS, 2013 India Inc. can from a bird™s eye view does not consist of only the bigger players in the market. Apart from the bigger players there consist a considerable percentage of the smaller players who have been consistently in pursuit of inorganic and organic expansions… Read More

Tags: Angel investorIndiaInitial Public OfferITP RegulationMinistry of Corporate AffairsSEBISecurities & Exchange Board of IndiaSmall & Medium Enterprises

SEBI issues Discussion Paper on ‘Review of guidelines governing stock related employee benefit schemes’

SEBI has issued a discussion paper on 'Review of guidelines governing stock related employee benefit schemes', for public comments. SEBI has issued SEBI (ESOS & ESPS) Guidelines, 1999 to enable listed companies to reward their employees through stock option schemes and stock purchase schemes. Based on the requests/ suggestions/ recommendations received from various market participants,… Read More

Tags: AnnexationEmployee benefitMumbaiPublic companyScheme (mathematics)SEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992

Draft Regulations -SEBI (Procedure for Search and Seizure) Regulations, 2013, for public comments.

Draft Regulations -SEBI (Procedure for Search and Seizure) Regulations, 2013, for public comments. 1. Securities Laws (Amendment) Second Ordinance, 2013 was promulgated on September 16, 2013 conferring explicit powers on the Chairman, SEBI to authorise Investigating Authority or any other officer of SEBI to conduct search and seizure under sub-section (8) of section 11C of… Read More

Tags: ChairmanExchange Board of India ActRegulationSearch and seizureSEBISEBI ActSecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992

Compliance with the provisions of Equity Listing Agreement by listed companies Monitoring by Stock Exchanges

CIR/CFD/POLICYCELL/13/2013                                                November 18, 2013 To All Recognised Stock Exchanges Dear Sir(s)/Madam(s), Sub: Compliance with the provisions of Equity Listing Agreement by listed companies - Monitoring by Stock Exchanges 1.  The Equity Listing Agreement mandates listed companies to make periodic and event based disclosures which are price sensitive in nature and which will have bearing on… Read More

Tags: Financial servicesIndiaPublic companySEBISecurities & Exchange Board of IndiaSecurities and Exchange Board of India Act 1992Standard operating procedureStock exchange

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